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Windsor Street Capital: 14 Customer Complaints, 36 Regulatory Sanctions

Windsor Street Capital

Public records published by the Financial Industry Regulatory Authority (FINRA) and accessed on June 24, 2019 indicate that former FINRA-registered broker-dealer firm Windsor Street Capital has received customer complaints and regulatory sanctions in connection to alleged rule violations. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Windsor Street Capital (CRD# 34171).

Established in New York in 1993, Windsor Street Capital is currently not registered with any US state. Organized as a partnership, the firm’s fiscal year ended in December. Its SEC registration status was postponed effective July 2018 and its FINRA license was cancelled in May 2018. According to its BrokerCheck report, Windsor Street Capital has received 14 customer complaints and 36 regulatory sanctions.

In 2018 a customer alleged Windsor Street Capital breached its fiduciary duty, churned investments, misrepresented and omitted material facts, recommended unsuitable investments, breached contract, failed in its supervisory duties, and acted negligently in connection to investments in common stock and private equities. The complaint resulted in an award to the customer of $100,000.

In 2017 a customer alleged the firm breached its fiduciary duty, churned investments, committed fraud, recommended unsuitable investments, violated blue sky laws, failed in its supervisory duties, and acted negligently. The complaint resulted in an award to the customer of more than $4.9 million.

In 2003 a customer alleged the firm churned investments, recommended unsuitable securities, and acted negligently in connection to common stock products. The complaint resulted in an award to the customer of $546,618.

In 2003 a customer alleged the firm breached its fiduciary duty, churned investments, misrepresented material facts, and made omissions of material facts in connection to investments in common stock. The complaint resulted in an award to the customer of $185,000.

In 2002 a customer alleged Windsor Street Capital breached its fiduciary duty, misrepresented material facts, breached contract, and failed in its supervisory duties. The complaint resulted in an award to the customer of more than $148,500.

In 2002 a customer alleged the firm breached its fiduciary duty, churned investments, misrepresented material facts, and executed unauthorized trades. In 2002 a customer alleged the firm breached its fiduciary duty, recommended unsuitable investments, and executed unauthorized trades. The complaint resulted in an award to the customer of $185,195.

In 2002 a customer alleged the firm breached its fiduciary duty, recommended unsuitable investments, and executed unauthorized trades. The complaint resulted in an award to the customer of $125,000.

In 2000 a customer alleged the firm breached contract. The complaint resulted in an award to the customer of $50,000.

If you or someone you know has lost money investing with Windsor Street Capital, call the experienced attorneys at Fitapelli Kurta at 877-238-4175 for a free consultation. You may be eligible to recoup your losses. Fitapelli Kurta accepts all cases on a contingency basis: we only get paid if and when you collect money. Time to file your claim matt be limited, so we encourage you to avoid delay. Call 877-238-4175 now to speak to an attorney for free.